Search Result

281 - 300 of 1232 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

SYSC 9.2 Credit institutions providing account information services or payment initiation services

As Published: 2018

SYSC 9.2 Credit institutions providing account information services or payment initiation services

SUP 17A.1 Application

As Published: 2017

SUP 17A.1 Application

EG 8.3 Use of the own-initiative powers

As Published: 2016

EG 8.3 Use of the own-initiative powers

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

EG 12.2 FCA cautions

As Published: 2015

EG 12.2 FCA cautions

EG 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

As Published: 2016

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

COLL 6.4 Title and registers

As Published: 2013

COLL 6.4 Title and registers